17 C.F.R. § 3.57 Proceedings under section 8a(2)(E) of the Act.
Title 17 - Commodity and Securities Exchanges
The Commission will not initiate a proceeding under section 8a(2)(E) of the Act, if respondeat superior is the sole basis upon which the registrant may be found subject to a statutory disqualification.
Title 17: Commodity and Securities Exchanges
PART 3—REGISTRATION
Subpart C—Denial, Suspension or Revocation of Registration
§ 3.57 Proceedings under section 8a(2)(E) of the Act.
